1. Develop clear objectives for information management governance and practice within the department’s new IT environment.

We are revising our information strategies, governance, policies and practice in association with the introduction of new information systems and tools.

Commentary last updated: November 2017

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-----------------------------|-------|------------------------|----------------|--------| | 1.1 Update DFID’s Information Strategy | KIM Team CIO | Strategy is being updated | Dec 2017 | Green | | 1.2 Expand scope and remit of Information Security Management Group and identify senior champion | KIM Team IA Team CIO | Drafted Terms of Reference and discussing composition of wider Information Management Group | March 2018 | Green | | 1.3 Update DFID’s Records Management Policy and formalise role of the business | KIM Team | Updates made to Blue Book content for input to new Corporate Rules | Nov 2017 | Green | | 1.4 Define role of Knowledge and Information Management Team in guiding and monitoring the way information and records are managed | KIM Team | Central quality control and monitoring processes are being planned as part of new KIM team roles | Ongoing | Green | | 1.5 Widen DFID’s Information risk policy and practice to include broader risks around using evidence and exploiting our information and feed these into the Corporate risk register | KIM Team IA Team | Risks associated with information management and exploitation will be addressed as part of the new Corporate Rules. Key risks have been included in the BSD Risk Log and will be fed into the Information and Corporate Risk Register | Ongoing | Green | | 1.6 Ensure that the requirements of good information and records management are built into the introduction of Office 365 facilities across DFID | KIM Team IA Team O365 Team | Continuing to learn and adopt best practice from other Government Departments and feed this into the development of a new O365 IM policy | March 2018 | Green | Gain a better understanding of the information assets held and the means by which these are managed, enabling effective oversight and control.

We are assessing ways of making our Information Asset Register process more effective and taking part in the cross-Government KIM Information Asset Register Working Group.

Commentary last updated: November 2017

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-----------------------------|-------|------------------------|----------------|--------| | 2.1 Improve DFID’s Information Asset Register process so that it helps us exploit our information and manage the risks | IA Team CIO | Revisiting previous proposals for widening coverage of IAR and improving its ability to help us manage different types of information risk, including those under the new General Data Protection Regulation (GDPR) | May 2018 | Green | | 2.2 Review the role of Information Asset Owners in DFID and provide them with clear guidance on their responsibilities | IA Team CIO | Revisiting ideas on how to make IAO role more effective including through better guidance and support, as part of discussions on new Information Management Group. | June 2018 | Green | | 2.3 Revisit TNA guidance on managing information assets and consult with colleagues from other Government Departments | KIM Team IA Team | Guidance has been reviewed and we are taking part in KIM IAR Task and Finish Group discussions involving other Departments, including DWP | Ongoing | Green | | 2.4 Review any records of value that may be held outside the corporate EDRM and identify any that should be moved into Vault | KIM Team | Undertake a review to identify and rationalise information repositories outside the EDRM | Ongoing | Green | | 2.5 Agree and publish new retention schedules, update current guidance and feed into Information Asset Register | KIM Team | Work is under way on new schedules for inclusion in IAR | March 2018 | Green | 3 Ensure that good information management processes are built into Vault.

We are continuing to develop ways of exploiting the Vault tools to help staff work more effectively and enable DFID to meet legislative requirements.

Commentary last updated: November 2017

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-----------------------------|-------|------------------------|----------------|--------| | 3.1 Establish procedures to close folders in Vault prior to review, disposal or transfer to TNA | KIM Team | Agreed. We will create and establish procedures that are controlled by agreed records retention policies to review, dispose or transfer Vault content to the TNA. | Ongoing | Green | | 3.2 Implement retention schedules for "cold" records that have been transferred from Quest into Vault but have no ongoing business need | KIM Team | All migrated content from Quest (DFID's previous EDRM) has retention schedules applied and we plan to proactively enforce these schedules for content that has no ongoing business need. | Ongoing | Green | | 3.3 Identify ways of restricting how individuals store information on their personal drives and encouraging them to move information into Vault | KIM Team | DFID wish to exploit opportunities that exist with the introduction of Vault and O365 to promote and enforce new policies that encourage staff “by default” to save to Vault. We are actively exploring the concept of preventing users from saving to their personal drives, as well as launching a series of training courses enabling staff to maximise the benefit of Vault. | March 2018 | Green | | 3.4 Develop process for quality assuring the file structures and access permissions allocated by business owners | KIM Team | DFID believe Quality Assurance (QA) is going to play an integral role in ensuring we manage our information well and for the continued success of Vault. We intend to devise a | March 2018 | Green | | Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-------------------------------------------------------------------------------------------|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------|--------| | 3.5 Consider whether some form of training in Vault should be compulsory for all users | KIM Team | DFID intend to offer a comprehensive series of training courses which staff will be able to attend, supplemented by self-service guidance material and a centralised support desk. | Dec 2017 | Green | | 3.6 Provide case studies around effective use of Vault that demonstrate how to comply with requirements as well as the benefits to the individual from using the system correctly | KIM Team | We intend to continue focusing on change management activities, including case studies where appropriate. | Ongoing | Green | | 3.7 Develop improved processes for handovers so that line managers ensure that new staff are aware of key Vault folders and usage of other IM systems | KIM Team | The KIM team are actively engaged and contributing to improving the induction process, raising awareness of good information management principles and the effective use of DFID systems. | Ongoing | Green | 4 Define how good information and records management will be championed and embedded across the business

We are assessing ways of encouraging senior and local level championing of good information and records management in DFID with the aim of embedding good performance across the Department.

Commentary last updated: November 2017

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-----------------------------|-------|------------------------|----------------|--------| | 4.1 Identify senior sponsor and develop network of senior information asset owners to champion good practice, learning from experiences of other Government Departments | IA Team CIO KIM Team | Under discussion as part of TOR for new Information Management Group, taking into account examples from cross Government Behavioural insights toolkit e.g. from HM Treasury | June 2018 | Green | | 4.2 Set up a TNA Board level briefing for the DFID Executive Management Committee to follow up on that undertaken in June 2014 | KIM Team CIO | Review once new Information Management Group has been set up. | 2018 | Green | | 4.3 Develop process for monitoring and following up on the performance of individuals and teams in saving records of value including emails to Vault | KIM Team | KIM Team will use Vault reports and a Management Information dashboard for monitoring usage and compliance. | Jan 2018 | Green | | 4.4 Review Directors Statement of Assurance process and other ways of ensuring more effective monitoring, benchmarking and improving performance across the business | KIM Team | We intend to incorporate an element of the new QA process into the Annual Directors Statement of Assurance in order to provide effective monitoring and benchmarking. | 2018 | Green | | 4.5 Consider ways of nurturing an informal network of Vault local enthusiasts ready to support the sharing of good practice and tips | KIM Team | KIM team are reviewing where local champions are emerging and how the Digital Ninja network supports digital working e.g. use | Ongoing | Green | | Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-------------------------------------------------------------------------------------------|----------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------|--------| | 4.6 Develop improved processes for searching for information across DFID resources and systems including Vault | KIM Team MI Team | We recognise and accept the long-term need for an Enterprise search solution and additional resources are in place to actively explore this. Additionally, we intend to focus on improving and exploiting current system offerings, as well as offering training sessions to ensure staff maximise their potential. | Ongoing | Green | | 4.7 Review Internal Audit involvement e.g. do they review records management/use of Vault/Quest as part of their activities, they could report any issues to DRO | KIM Team | The KIM team have approached Internal Audit with a view to ensuring the DRO is made aware when audits report poor records management practices | Dec 2017 | Green | 5. Review what training related to information management is essential for staff to undertake. Once DFID has identified what training is essential it should take steps to make that training mandatory and consider how it will ensure that this is enforced.

We are contributing to the development of a new DFID induction process that will incorporate training related to information management and Vault and mandate completion of the “Responsible for Information” eLearning course from Civil Service Learning.

Commentary last updated: November 2017

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-----------------------------|-------|------------------------|----------------|--------| | 5.1 Promote understanding of individual information management responsibilities through the corporate and departmental induction process | KIM Team | Agreed. The KIM team are actively engaged in ensuring Information Management is addressed as part of the induction process. | Ongoing | Green | | 5.2 Develop improved programme of personal coaching, induction and refresher training on how/when to use Vault and when to use other IT tools, including Office 365 when it comes | KIM Team | Planned Vault induction training pack and introductory sessions could be extended to cover good practice in managing information and this should be covered as part of Office 365 project. | Ongoing | Green | | 5.3 Implement mandatory completion of Responsible for Information eLearning course from Civil Service Learning, | IA Team KIM Team | Within DFID all new starters are mandated to complete the RFI course and as part of the new QA process we plan to measure compliance with this initiative. | Dec 2017 | Green | 6 Develop a forward plan for the appraisal and selection of records, and their subsequent transfer to The National Archives.

We are documenting our current appraisal and selection processes as part of plans to allocate additional resources to help achieve our selection and appraisal targets for both digital and paper records.

Commentary last updated: November 2017

| Enabling/supporting actions | Owner | Commentary on progress | Completion due | Status | |-----------------------------|-------|------------------------|----------------|--------| | 6.1 Document selection criteria and macro approaches for appraisal and selection of DFID’s records | KIM Team | Updated guidance to support this process as well as exploring and identifying new macro selection approaches will be used in order improve and streamline this process. | March 2018 | Green | | 6.2 Develop an approach to the appraisal and sensitivity review of digital records | KIM Team | DFID will continue to work and feed into cross government working groups and look forward to streamlining the current manual process based on any recommendations or central directives. | 2018 | Amber | | 6.3 Assess option of using third party contractors for the cataloguing of records for transfer to TNA and triage around the appraisal of records | KIM Team | We are reviewing opportunities that exist within current commercial frameworks and examples of best practice from other Government Departments. | March 2018 | Green | | 6.4 Identify additional resources to support the records appraisal and selection process and arrange effective knowledge transfer | KIM Team | KIM team resource constraints continue to be challenging, nevertheless succession plans are now in place ensuring a level of continuity within the team | Ongoing | Green |